Presentation of CS on Embarking Countries M. Moracho, R. Revuelta Bureau of SC of Competence of HR for Regulatory Bodies Brussels, 27-28nMarch 2012

Safety Report and SARCON

Regulatory functions Specific Tasks Required KSAs Required Competences Tecdoc 1254 Tables sample Tasks (sect ) GSR Part1 Table with X (applicable or N/A) and Quadrants (ch.4) No guidance Quadrant model, & levels Lists (ch.4)

New Safety Report Regulatory functions Specific Tasks Required KSAs Required Competences Tables (lists) sample Tasks (sect. 4.1-sends to App.II + lists in App.I) GSR Part1 Table with X (applicable or N/A) in App. II Sect.4.2 Quadrant model, & levels Examples of KSAs (ch.3; Quadrant 3 are now the main Reg. Functions)

Regulatory functions Specific Tasks Required KSAs Required Competences SSG-16 Actions Embarking Countries (now App.V) Additional considerations: -milestones document (phases 1, 2, 3) -SSG-16 (200 actions doc.) -SARCON (lists of KSAs of competences -INSAG-26 (9 key activities for 1st NPP) + Direct: table: required competence levels for each Reg.Function, for phases 1,2,3 (not yet developed, developing, fully developed) Table Actions in phases 1,2,3

functions Tasks in ph.1,2,3 KSAs Competences in ph.1,2,3 Actions in ph.1,2,3 Embarking Countries draft app. as of 9 March’12 Table p.7 Lists of tasks p.8 (not yet developed except examples) Table of competences needed p.5 +table relative levels of comp. in ph. 1,2,3 (app.V of SR) Table p.10 etc.

‘Table p.7’ Function of Regulatory BodyActions numbers as identified in SSG-16 Phase 1Phase IIPhase III Authorization164 Review and assessment118, 164,38,59,60,84,97,11 5,120,129 Inspection37, Enforcement37 Regulation and guides29,30,109,126, 138,161,174, ,36 International cooperation14,15,16,17 and 19, 191 EPR Communication and consultation with interested parties

‘Lists of tasks p.8’ Note: insert table for each function compiling actions and tasks -List of Task for Authorization Function in Phase 1 -List of Tasks for Review and Assessment Function in Phase 1 -List of Tasks for Inspection Function in Phase 2 -List of Tasks for Enforcement Function in Phase 2 -List of Tasks for Regulation and guides in Phse 2 -List of Tasks for International Cooperation in Phase 2 -etc.

‘Table of competences needed p.5 ’ Authorizati on Review and assessment Inspection Enforcemen t Developme nt of regulations and guides 1. Competence related to the legal, regulatory and organizational basis 1.1Legal basisX-XXX 1.2Regulatory policies and approachesXXXXX 1.3Regulations and regulatory guidesXXXXX 1.4Management systemXXXXX 2. Technical disciplines competences 2.1Basic science and technologyXXX-X 2.2Applied science and technology-XX-X 2.3Specialized science and technology-XX-X 3. Competences related to regulatory body ’ s practices 3.1Review and assessment processesXX Authorization processes processesXX Inspection processes--XX- 3.4Enforcement processes--XX- 3.5Development of regulations and guides processes----X 3.6Investigation processes--XX- 3.7Additional functions processes Personal and behavioural competences 4.1Analytical thinking and problem solvingXXX-X 4.2Personal effectiveness and self-managementXXXHighX 4.3CommunicationXXX-- 4.4Team workXXXXX 4.5Managerial competences and leadershipXXXXX

‘table relative levels of comp. in ph. 1,2,3(app.V of SR) ’ Functions /CompetencesPhase IPhase IIPhase III 1. Competence related to the legal, regulatory and organizational basis 1.1 Legal basisDeveloping Fully developed 1.2 Regulatory policies and approachesDeveloping Fully developed 1.3 Regulations and regulatory guidesNot yet developedDevelopingFully developed 1.4 Management systemNot yet developedDevelopingFully developed 2. Technical disciplines competences 2.1. Basic TechnologiesFully developed 2.2. Applied TechnologiesNot yet developedDevelopingFully developed 2.3. Specialized TechnologiesNot yet developedDevelopingFully developed 3. Competences related to regulatory body ’ s practices 3.1 Competence in review and assessmentNot yet developedDevelopingFully developed 3.2 Competence in authorizationNot yet developedDevelopingFully developed 3.3 Competence in inspectionNot yet developedDevelopingFully developed 3.4 Competence in enforcementNot yet developedDevelopingFully developed 3.5 Competence in development of regulations and guidesNot yet developedDevelopingFully developed 3.6 Competence in investigationNot yet developedDevelopingFully developed 3.7 Competence needed for additional functionsNot yet developedDevelopingFully developed 4. Personal and behavioural competences 4.1 Analytical thinking, problem solving and decision makingFully developed 4.2 Personal effectiveness and self-managementFully developed 4.3 CommunicationFully developed 4.4 Team workFully developed 4.5 Managerial competencesFully developed

‘ Table p.10 etc. FunctionsTasks Phase 2Tasks Phase 3CompetencesRemarks AuthorizationThe RB should decide/authorize the acceptability of site (164) The regulatory body should develop and manage the processes needed in licensing which typically includes the following phases, e.g. siting, construction, commissioning and operation. (see action 34) 1.1, 1.2, 1.3, 1.4, 2.1, 3.1, 3.2, 3.4, 4.1, 4.2, 4.3, 4.4, 4.5 Although the technical review may be supported by external organization but the final decision of the acceptability of the site has to be taken by regulatory body. Therefore the competencies for this has to be developed early in Phase 2. Review and Assessment Create tasks out of 118, 164) The RB should develop expertise for the conduct or review of safety assessment The operating organization, the regulatory body and external support organizations, as appropriate, should develop the expertise to prepare for the conduct or the review of safety assessments. Create tasks out of 120, The regulatory body should carry out a comprehensive review and an independent verification of the safety analysis reports submitted by the operating organization to verify compliance with the regulatory requirements. 1.2 Regulatory Policies and approaches 1.3 Regulations and Regulatory Guides 1.4 Management systems 2.1 Basic science and technology 2.2 Applied science and technology 2.3 Specialized science and technology 3.1 Review and Assessment process 3.2 Authorization process 4.1 Analytical thinking and problem solving 4.2 Personal effectiveness and self- management (Steve doesn ’ t like all of this one) 4.3 Communication 4.4 Team work Managerial competences and leadership Developing competences in Phase 2 to support the conduct of review of safety analysis report in Phase 3 The review of each chapter of the safety analysis report needs staff with specialized knowledge in the specific technical area. Challenging for new regulatory body to have all the specialized knowledge to perform specific reviews, external support is likely to be needed for the initial reviews (PSAR). In developing applied and specialized knowledge, support may be provided by a regulatory body that has already licensed a nuclear power plant of the same design. Regulatory bodies will have some time to develop additional[1] specialized knowledge to support the operating license review.[1]

‘New Quadrant model’

‘Table of relative importance of competences’. E.g. levels of competence (and of its KSAs) 0,1,2,3; may be used to modulate level needed of the competence in phases 1,2 when it is ‘developing’ or ‘not yet developed’